SEC Form 4 · accession 0001462049-16-000005
COSI INC · COSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Aug 19, 2016
Accepted (ET)
Aug 23, 2016 · 4:14 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001171014
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCKF1,F2,F3 | Aug 19, 2016 | S | 236,300 | $0.30 | D | 7,955,129 | D | |
| COMMON STOCKF1,F2,F3 | Aug 19, 2016 | S | 113,700 | $0.32 | D | 7,955,129 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The securities reported in this Form 4 are beneficially owned directly by Plaisance Fund LP ("Plaisance").
- F2Janus Capital Institutional Advisors LLC ("JCIA"), which serves as the general partner to Plaisance, may be deemed to share voting and dispositive power over the securities held by Plaisance, and accordingly, may be deemed to be a beneficial owner of the securities reported in this Form 4 for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934, as amended. In accordance with Instruction 4(b)(iv), the entire amount of the Cosi, Inc. common stock held by Plaisance is reported herein for purposes of the indirect pecuniary interest of JCIA.
- F3Each of the Reporting Persons expressly disclaims the beneficial ownership of the shares of Cosi, Inc. common stock reported herein except to the extent of his or its pecuniary interest therein, if any, and this Form 4 shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of any such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. Any disclosures made by a Reporting Person herein with respect to persons or entities other than such Reporting Person are made on information and belief after making inquiry to the appropriate party. Each of the Reporting Persons is responsible for the completeness and accuracy of the information concerning him or it contained herein, but is not responsible for the completeness and accuracy of the information concerning the others, except to the extent that he or it knows or has reason to believe that such information is inaccurate.